NYSE Regulation, Inc. today announced its monthly disciplinary actions for April 2010.
NYSE Regulation takes disciplinary actions to enforce violations of
NYSE, NYSE Arca and NYSE Amex rules and federal securities laws by member
organizations, as well as current and former employees of those organizations.
Here is the link to the April 2010 announcement page:
http://www.nyse.com/DiscAxn/discAxn_04_2010.html
Today's announcement includes NYSE and NYSE Amex actions against the following
respondents:
- Israel A. Englander & Co., Inc.
- Goldman Sachs Execution & Clearing, L.P.
- James Gerard O'Callahan
- Christopher S. Bier
- Keith C. Arnold
